Report on ERA-NET, ERA-NET Plus and JPIs and their joint calls

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1 EUROPEAN COMMISSION DIRECTORATE GENERAL FOR RESEARCH & INNOVATION Ref. Ares(2013) /07/2013 Directorate B European Research Area B.4 Joint Programming Report on ERA-NET, ERA-NET Plus and JPIs and their joint calls Elisabeth BERTRAND Jörg NIEHOFF May 2013

2 Summary - Key findings Number of ERA-NETs: In total 71 ERA-NETs have been funded under FP6. Under FP7 a total of 82 ERA-NET and 23 ERA-NET Plus actions are funded or expected to be funded. 31 of the initial FP6 contracts have received or currently receive further funding for coordinating their activities under FP7. A total of 51 ERA-NETs will have started under FP7 on topics that were not covered formerly, thus resulting in 153 different ERA-NET topics under FP6 and FP7. 32 ERA-NET and ERA-NET Plus actions are expected to end between 2013 and 2015 for which a follow-up in the first Work Programme of Horizon 2020 might need to be considered. Number of JPIs and their joint calls: Out of the 10 running Joint Programming Initiatives, 4 have adopted their Strategic Research Agenda and at this stage, 6 have implemented or plan to implement joint calls. EU-Funding: The total funding ERA-NETs have received for coordination under FP6 is 185 Million. The ERA-NET scheme under FP7 will be funded with around 308 Million for the period , of which around 154 Million for coordination and around 154 Million for the top-up funding of calls implemented with the ERA-NET Plus actions. Successful in launching calls: Almost all ERA-NETs succeed in launching joint calls: 64 of the 71 FP6 ERA-NETs have implemented joint calls (90%), and from those that started new under FP7 only 4 have not yet launched a call. A group of 7 ERA-NETs, mostly FP6/7, have launched the highest number of calls: between 10 and 18 calls each. Public funding mobilised more than 2 Billion until 2012: The total public funding of research implemented by ERA-NETs, ERA-NET Plus and JPIs between 2004 and 2012 amounts to more than 2.06 Million. For the period , calls with a total volume between 845 Million and 1.2 Billion public funding are currently expected between 2013 and Annual call volume reaching 455 Million in 2013: The public funding of research via calls launched by ERA-NET and ERA-NET Plus actions has been growing steadily since the first calls in Since 2011 also JPIs have started launching calls for proposals. The total amounts add up to between 300 and 350 Million per year in 2011 and 2012, and finally reach more than 450 Million in Constantly high number of calls per year: A total of 278 calls have been implemented by ERA- NETs, ERA-NET Plus and JPIs in and more than 125 are currently planned for (including those without call budget information). The number of implemented calls has been rather stable in with calls per year and more, but has risen up to 48 planned calls in Until 2012, FP6 ERA-NET and their successors were main contributors: in 2012, more than 70% of all public funding of calls has been generated by ERA-NETs that started under FP6 and their successors. In 2013, ERA-NET with a new topic in FP7 and ERA-NET Plus actions implement almost half of the calls. Broad participation: In comparison with 12 countries per ERA-NET, it can be noticed that, on average, 10 countries participate to a joint call. Size and number of funded projects: The average size of projects funded by ERA-NET, ERA-NET Plus and JPI is (median: ). Close to 2400 projects have been funded by ERA- NET, ERA-NET Plus and JPIs in the period ERA-NET Plus leads to larger call budgets: The ERA-NET Plus instruments results in substantially larger average calls budgets of 23 Million compared to 8 Million for all ERA-NET calls. Joint Programming Initiatives' calls have an average budget of 13 Million. Virtual common pot and mixed mode as preferred funding modes: The virtual common pot is applied in almost 80% of all calls. ERA-NET Plus actions rely on either the mixed mode (14% of all call budgets, 90% of all ERA-NET Plus calls) or the real common pot (2 % and 10 % respectively). In normal ERA-NET calls these funding modes are scarcely used (1%). The use is limited to fundamental research, social sciences, humanities or public procurement actions. For Joint Programming Initiatives joint calls, the virtual common pot is always used. 1

3 Introduction Methodology and data categories The report provides data on ERA-NETs, ERA-NET Plus actions under FP6 and FP7, as well as data on Joint Programming Initiatives. This document is an update of the report issued in June The data for the ERA- NETs from the Work Programme 2013 are based on proposals still under negotiations. The methodology used in this report for the data collection for the calls is the following: 1. The basis of this report is the one that was made in June 2012, and which was itself based on all information on ERA-NET calls and the core data that had been identified and compiled from former surveys, project reports, ERA-NET webpages and NETWATCH data, as well as based on the verification that projects coordinators had been asked to make. 2. This basis was completed by the data collected through a survey that was available online to all coordinators of ERA-NET, ERA-NET Plus actions and JPIs, in February-March With online contributions from 58 ERA-NET and ERA-NET Plus and from 9 JPIs, this survey covers an estimate of at least 95% of all calls launched by ERA-Nets and JPIs and allows for more accurate information on 2011 and 2012 calls, and the most updated planned activities of the networks in 2013, 2014 and The categorisation of data takes into account the main changes from FP6 to FP7: (a) the new ERA-NET Plus instrument and (b) the shift from a centralised implementation with Member States proposing ERA-NETs to a decentralised approach with the thematic directorates implementing the ERA-NET scheme, giving them the possibility to develop dedicated strategies and call for ERA-NETs in selected topics under their annual work programmes. As many JPIs move towards the implementation phase of their SRA, the report now also takes into account their joint calls, as well as the ones from the ERA-NET Plus whose activities come in support to JPIs topics. These two additional categories allow a more comprehensive consideration of the public funding invested in European coordinated research. For the statistics, the actions have therefore been divided in the following categories: FP6 ERA-NETs [FP6] ERA-NETs that started under FP6 and continue with a new contract under FP7 [FP6/7] ERA-NETs that started with a new topic under FP7 [FP7] ERA-NET Plus actions [FP7 EN+] Joint Programming Initiatives [JPI] ERA-NET Plus actions whose activities come in support to JPIs' topics [JPI EN+] The ERA-NETs, ERA-NET Plus are grouped mainly according to the current FP7 Structure (Cooperation, INCO, Infrastructures) with horizontal ones assigned to the best fitting category. JPIs are grouped according to the Cooperation themes

4 Part 1 Statistical data on ERA-NET, ERA-NET Plus actions and JPIs, and the funding they receive A. Statistical data on ERA-NET and ERA-NET Plus actions Graph 1: Number of running ERA-NET and ERA-NET Plus actions over the period (data DG RTD) *Figures for 2014 to 2017 only show running actions or actions about to start and funded under FP7 In total 71 ERA-NETs have been funded under FP6. Under FP7 a total of 82 ERA-NETs and 23 ERA-NET Plus actions are funded or expected to be funded. The Grant Agreement for the last FP6 ERA-NET finished in early of the initial FP6 contracts have received or currently receive further funding for coordinating their activities under FP7. A total of 51 ERA- NETs will have started under FP7 on topics that were not covered formerly. FP6 FP6/7 FP7 FP7 EN+ Energy Environment Fundamental Sciences 5 1 Health ICT 5 3 INCO Industrial Technologies/SMEs Infrastructures 3 KBBE Security 1 2 SSH/SIS Transport Total Table 1: Number of ERA-NET and ERA-NET Plus actions per Theme under FP6 and FP7 including horizontal ones reassigned to the closest Theme (FP6: 17, FP7: 7 ERA-NET, 3 ERA-NET Plus), (data DG RTD) The use of the ERA-NET scheme varies strongly for the different Themes (Table 1). The strongest areas under FP6 are Industrial Technologies and SMEs, KBBE, Environment and Health. Under FP7 most areas show continuity, with KBBE (knowledge based bio economy) having strengthened their activities. However, the number of ERA-NETs in environment is decreasing, partially due to clustering of existing ones. ICT, INCO 3

5 and Infrastructures have started using the instrument under FP7. Fundamental sciences and many of the cross cutting topics are mostly not covered under FP7 due to the mismatch with the thematic structure and the abolished FP6 approach of bottom-up calls for ERA-NETs. EC contribution FP6 FP6/7 FP7 FP7 EN+ FP7 total Energy Environment Fundamental Sciences Health ICT INCO Industrial Technologies/SMEs Infrastructures KBBE Security SSH/SIS Transport Total of which funded horizontally Table 2: Funding received by ERA-NET and ERA-NET plus actions per Framework Programme and theme (data DG RTD) The total FP 6 funding ERA-NETs have received (Table 2) for coordination is close to 185 Million. The ERA-NET scheme under FP7 will be funded with around 308 Million for the period , of which 154 Million are for coordination in ERA-NETs and almost 154 Million for topping-up of calls in ERA-NET Plus actions. The horizontal funding under FP7 results from the transition period 2007/8 where horizontal topics or topics not being addressed by the Themes could be submitted. This includes also the two first ERA- NET Plus actions as preparatory actions for the related ART.185 (EMRP, BONUS). B. Statistical data on Joint Programming Initiatives JPI Date of launch (by Council Conclusions) Commission support through FP7 CSA Adoption of the Strategic Research Agenda JPI on Neurodegenerative Diseases, incl. Alzheimer December 2009 From (JPND) Agriculture, Food Security and Climate Change (FACCE) October 2010 From A Healthy Diet for a Healthy Life (HDHL) October 2010 From Cultural Heritage October 2010 From 2011 Expected end of 2013 More Years, Better Lives September 2011 From 2012 Expected in 2013 (MYBL) Antimicrobial Resistance (AMR) Healthy and Productive Seas and Oceans (OCEANS) Water Challenges for a Changing world (WATER) Connecting Climate Knowledge for Europe - Clik'EU (Climate) URBAN Europe December 2011 December 2011 From 2012 Expected late 2013-early 2014 December 2011 From 2012 Expected end 2014 December 2011 From 2013 Expected in 2014 December 2011 From CSA under evaluation ; expected to be launched early 2014 Expected mid-2014 Table 3: Number of Joint Programming Initiatives adopted during the first wave (blue) and the second wave (green) (data DG RTD) 4

6 The Joint Programming Initiatives were launched following two waves of adoption by the Council of the EU, end of 2010 and end of Except for the JPI "URBAN Europe", all of them started a dedicated CSA the following year (Table 3). JPIs launch joint calls following the adoption of a Strategic Research Agenda (SRA) and ideally after the creation of an independent secretariat. However, as the data on joint calls show in part 2, some JPIs have launched joint calls, although the SRA had not yet been adopted. For the purpose of this report, JPIs have been classified to show through which FP7 Theme their CSA is funded (table 4). At this stage, 6 of them have implemented or are planning joint calls in these 4 themes: Environment (Cultural Heritage and WATER), Health (JPND), KBBE (HDHL and FACCE) and SSH (URBAN Europe). Energy Environment Fundamental Sciences Health JPI Cultural Heritage, OCEANS, WATER, Climate JPND, Antimicrobial Resistance Total planned Public Funding ICT INCO Industrial Technologies/SMEs Infrastructures KBBE FACCE, HDHL Security SSH/SIS MYBL, Urban Europe Transport Total Table 4: Total public funding for past, current and future Joint Calls in JPIs and JPI EN+ per theme, from 2011 to 2015 In bold: JPIs that plan joint calls and that indicated a budget (survey data) 5

Part 2 - ERA-NET, ERA-NET Plus actions and JPIs: Joint calls for transnational research A total of 278 calls have been implemented from 2004-2012.

7 Part 2 - ERA-NET, ERA-NET Plus actions and JPIs: Joint calls for transnational research A total of 278 calls have been implemented from More than 125 are currently under preparation for the period of according to the information submitted by the ERA-NET and JPI coordinators, out of which 67 joint calls already have a budget planned. Almost all ERA-NETs have implemented calls, except for 10 FP6 and FP7 ERA-NETs that have not implemented any calls. The public funding for research leveraged by ERA-NET, ERA-NET Plus actions and JPIs has been growing quite steadily since the first calls in From 2011, there is a peak between 300 and 350 Million per year, and finally it reaches 455 Million in 2013 (Graph 2). For the period , calls with a total volume close to 845 Million are already planned. However, several ERA-NET and JPI coordinators plan to organise joint calls but are still unable to indicate a call budget. This is the case for 8 calls planned in 2013, 26 calls in 2014, and 24 calls in Based on past average call budgets, it can be anticipated that up to 1.2 Billion of total public funding will be available for coordinated research from 2013 to Graph 2: Total public funding per year for calls implemented by ERA-NET, ERA-NET Plus actions and JPIs over the period including currently planned calls (survey data) For several years ( ), the FP6 ERA-NETs and FP6/7 ones have been the main vehicles for call budgets made available for transnational research. The last FP6 ERA-NET action came to an end in Many ERA-NET actions move to ERA-NET Plus which have been particularly strong in 2007 and 2009, and indicate substantial budgets for the calls resulting from the Work Programmes 2012 and The 2013 peak can be explained by this evolution, but also by the high number of ERA-NET Plus actions planning to launch substantial calls in The ERA-NET actions from FP7 with a new topic have now started to mobilise substantial call budgets for 2011, 2012 and 2013 calls. Their increase contribute very much in the high figure of public funding in 2013, together with the JPIs that mostly start to implement their Strategic Research Agenda through joint calls. 6

total public funding in 2013 (1/3 of the 2013 call budgets).

8 More than 70% of total public funding in 2012 has been generated by ERA-NETs that started under FP6 and their direct successors. Those ERA-NETs that have started under FP7 with a completely new topic have raised until 2012 call budgets of 271 Million (13% of total public funding) and contribute to a substantial part of the total public funding in 2013 (1/3 of the 2013 call budgets). Graph 3: Total aggregated public funding for calls implemented by ERA-NET, ERA-NET Plus actions and JPIs over the period , including calls planned without a budget (survey data) The total public funding of research implemented by ERA-NETs and ERA-NET Plus since its beginning until 2012 amounts (Graph 3) to more than 2 Billion. The public funding totals 2.9 Billion until end of 2015, including the calls currently planned and for which a budget is foreseen. Graph 4: Number of calls implemented per year (survey data) 7

The number of implemented calls (Graph 4) is relatively stable from 2007 to 2012 with 35-40 calls per year.

9 The number of implemented calls (Graph 4) is relatively stable from 2007 to 2012 with calls per year. For 2013, 40 calls foreseeing a dedicated budget are already planned and 8 more calls are announced by the networks without any precise budget at this stage. On average 10 countries participate to a call (compared to 12 countries per ERA-NET), with minor statistical deviation between themes. The average size of projects funded by ERA-NET, ERA-NET Plus actions and JPI is (median: ). Close to projects have been funded by ERA-NET, ERA-NET Plus and JPIs in the period Figures also show that the average budget per call is almost three times higher for ERA-NET Plus instruments ( 23 Million) than ERA-NET actions ( 8 Million). Joint Programming Initiatives' calls have an average budget of 13 Million. Graph 5: Total public funding per Theme for calls implemented by ERA-NET and ERA-NET Plus actions over the period (survey data) The total public funding realised per Theme (Graph 5) reaches 828 Million for Industrial Technologies and SMEs (of which approximately 100 Million result from horizontal ERA-NETs), closely followed by Health (almost 500 Million), KBBE and Environment themes (between 370 and 385 Million). Themes SSH, Transport, Energy range from 170 to 230 Million. ERA-NET Plus instruments cover a substantial part of the joint calls in the fields of SSH, Energy and ICT. 8

Graph 6: Funding modes used in ERA-NET and ERA-NET Plus calls [percentage of total public funding] (survey data) The question which funding mode to apply for funding transnational projects is a

10 Graph 6: Funding modes used in ERA-NET and ERA-NET Plus calls [percentage of total public funding] (survey data) The question which funding mode to apply for funding transnational projects is a central issue of every call. The following funding modes are in use: Real common pot: Countries pool their national contributions to a common and centrally administered call budget. This provides funding for successful proposals irrespective of the applicant s nationality and results in transnational flows of funding (funding crosses borders). Virtual common pot: Countries and regions pay for their own participants without any cross border funding. Mixed mode: Parts of the call budget are reserved for a "real common pot" which allows compensating mismatch between national funding contributions and requested budgets for successful proposals when following the rankling list. The most frequently used funding mode (Graph 6) is the virtual common pot with almost 80% of all call budgets. The ERA-NET Plus calls require that Member States use a funding mode that ensures a selection according to the ranking list. As a consequence, ERA-NET Plus actions rely on either the mixed mode (14% of all call budgets, 90% of all ERA-NET Plus calls) or the real common pot (2 % and 10 % respectively). In normal ERA-NET calls these funding modes are scarcely used (1%). The use is limited to fundamental research, social sciences, humanities or public procurement actions. For Joint Programming Initiatives which receive EU funding for their networking activities, joint calls always use the virtual common pot. For ERA-NET actions, on the contrary, the final decision for a funding mode that is used in a specific call will depend on the partners in the consortium and the respective flexibility of national programmes. 9

11 Annex 1: Summary table of all planned call budgets in Million from 2004 to Total ERA-NET and ERA-NET Plus ACENET/CAPITA , ,00 7,00 No public data AERTOs , , , , AirTN 136,30 AMPERA , ,07 ARIMNet , , ,36 3,08-1,27-1 call - 7,70 ASPERA ASTRONET , , , ,62 8,84 9,00 9,00 1 call 50,66 BIODIVERSA BIOENERGY - - 1,67 3,33 2,20 5,91 19,00 18,50 4,30 50,60 31,00 1 call 36,51 BONUS , ,02 BS-ERA.NET , ,50 CHIST-ERA ,00-11,40 10,00 1 call 1 call 31,40 CIRCLE , , call - - 4,67 Complexity-NET , , , ,20 5,40-9,09-31,97 CORE Organic CO-REACH , ,78 CORNET - 1,95 2,92 5,74 7,17 16,29 13,47 19,73 22,38 2 calls 2 calls 2 calls ,00 5,63 3,15 1 call 1 call 1 call 13,78 CROSSTEXNET CRUE - - 1,60-3, ,60 Cultural heritage ,00-12,00 ECO-INNOVERA ,00-10, ,00 ECORD 10,00 10,00 10,00 10,00 10,00 16,50 16,50 16, ,50 einfranet , ,06 EMIDA ,25-19, ,15 ERA.Net RUS , ,49-24,84 ERA-AGE , ,40 3,75 4, ,05 ERA-ARD , , ,92 ERABUILD / ERACOBUILD - 1,36 2,60 1,91-1,90 3,85 3, ,32 ERACAPS ,00 1 call - 20,00

12 Total ERA-CHEMISTRY - 3,21-5,40 3,17 2,98 2,50 1,80 1,50 1,50 1,50-23,57 ERA-ENVHEALTH , , ,01 ERAFRICA , ,07 ERA-IB ,00-14,00-18,00 27,00 1 call 1 call 70,00 ERA-NET ROAD - - 0,10 0,44 1,50 1,65 2,85 4,77 3,85 1 call 12,00 1 call 27, ,30 4,26 1,76-1,47 22,60 0,80 11,00 1,00 15,00 75,19 ERA-NET TRANSPORT ERANID call - ERA-PG ,55-16, call - 55,05 E-Rare ,04-9,45-8,78 8,80 12, ,28 EraSME - 4,40 1,20 4,20 2,60 18,70 11,10 1,34 3,99 2 calls 2 calls 2 calls 47,53 ERA-SPOT - - 0,79 2,30-1,09 18,90-18,00 No public data ERA-STAR REGIONS ,67 0, ,53 ERASYSBIO - 28, , call 1 call 69,60 ERNEST , ,93 ETRANET - - 6,28 3,73 0, ,20 EULANEST , ,57 EUPHRESCO , ,50 3,50 1 call 1 call 8, ,00 8,00 8,00-12,49 1 call 1 call 37,49 EuroNanoMed EUROPOLAR ,00-10,00-10, , ,00 17,00 15,00 19,77 20,39 14,57 9,16 18,30 20,00 20,00 EUROTRANSBIO 176,19 27,40 27,20 27,04 23, EURYI 104,94 FENCO-ERA , , , ,96-1 call - 36,06 HERA HESCULAEP , ,30 HIVERA ,37-4, ,37 HY-CO ,20 1, ,53 ICT-AGRI ,13-6,20 No public data imera+ - 25,12-63, ,82 INFECT-ERA ,00 1 call 1 call 8,00 INNER ,50-5, , ,30 IWRM.Net-CA ,00 2, ,00 KORANET ,93-2, ,93 LEAD-ERA ,09 5,34 4,04 7, ,47 MANUNET ,00 19,00 22,00 21,00 13,00 11,30 15,00 1 call 1 call 1

13 Total 114, , ,00 15,00 15,00 48,76 MariFish MARINERA , ,60 MARTEC ,70 4,20 4,00 2,60 5,00 5,00 6,00-31,50 MATERA - - 4,80 3,70 10,10 13,70 4,90 3, ,40 MNT ERA-NET - - 8,00 13,00 9,00 22,00 12,00 10,00 30,00 30,00 30,00 30,00 194,00 NanoSci-ERA - - 8,70-19, , ,73 NET-BIOME , call 1 call 3,10 NEURON ,20 10,10 9,60 9,70 11,30 11,03 1 call 1 call 61,93 New INDIGO ,27 1,55 3,00 1 call - - 6,82 NEW OSH ERA , ,50 NEWA ,00-15,00 NORFACE - 0,16 5,61 0,32 26, , ,19 NuPNET , ,40 PathoGenoMics ,00-16,30-9, ,30 PRIOMEDCHILD , ,12 PV-ERA-NET , ,76-10,00 12,00 12,00 12,00 50,19 RURAGRI ,50 No public data SAFEFOODERA - - 2,21-4, ,00 1 call - 8, ,75-1 call - 4,75 SEAS-ERA SEE-ERA.NET ,83-3, ,24 SEERA-EI ,60-1 call - 0,60 SIINN ,30 1 call - - 2,30 SKEP ,56 0,38 2, ,13 SmartGrids , ,25 SNOWMAN - - 0, ,00 2, ,72 SPLASH (EUWI - ERA - NET) ,00-2, ,50 SUSPRISE , ,62 TRANSCAN ,00 10,40 12,30 1 call - 36,70 URBAN-NET ,03-5, ,03 VISION , ,56 WOODWISDOM , ,00 13,00-24, ,70 WORK-IN-NET , ,20 2

14 Total Joint Programming Initiatives AMR No public data CLIMATE No public data ,00-5,00 19,00 2 calls 39,00 FACCE HDHL ,00 1 call - - 6, ,30 5,50-8,80 Cultural Heritage JPND ,92-34,28 2 calls 2 calls 52,20 MYBL No public data OCEANS No public data ,50 15,00 20,00 25,00 70,50 URBAN EUROPE ,00 20,00 30,00 60,00 WATER Caption The network is ending in 2013, 2014 or call: The network plans one joint call but no specific budget is yet foreseen 2 calls: The network plans two joint calls but no specific budget is yet foreseen : The network plans to use Co-Fund ERA-NET under H2020 3

The Joint Programming Process & H2020

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